Compliance Oversight Sample Clauses

Compliance Oversight. Subadviser agrees to cooperate with periodic reviews of Subadviser’s compliance program by the Fund’s compliance personnel in performance of their responsibilities under Rule 38a-1 of the 1940 Act. Subadviser agrees to provide to the Fund copies of its compliance program and such additional information and certifications as may reasonably be requested by the Fund’s compliance personnel. Subadviser agrees to promptly notify the Adviser of any material compliance violations which affect the Fund.
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Compliance Oversight. The Sub-advisor agrees to cooperate fully with periodic reviews of the Sub-advisor’s compliance program by the Funds’ and by the Advisor’s compliance personnel and to provide to the Funds and the Advisor in writing such additional written information and certifications regarding Sub-advisor’s policies and procedures as may reasonably be requested by the compliance personnel to ensure compliance with Rule 38a-1 under the 1940 Act. All such reviews and requests for information shall be directed to the Sub-advisor’s
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Compliance Oversight. The Company has the right to verify Client’s compliance with this DSA by assessment, inspection, or other reasonable means. Client shall, upon the Company's written request, make available during normal business hours such information as the Company may reasonably request relating to compliance with this DSA. Such information shall be provided to the Company or its designee, in order that the Company may verify Provider’s compliance. Client shall fully cooperate with such verification process and Company shall treat the information provided by Client as confidential. Company shall provide Client with the results of any such verification process performed. Any such verification process shall (i) be performed at Company’s sole cost and expense, (ii) not last more than 3 business days, and (iii) may not be conducted more than one time per 12- month period.
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Compliance Oversight. As reasonably requested by the Corporation on behalf of the Corporation’s officers and in accordance with the scope of the Subadviser’s obligations and responsibilities contained in this Agreement, the Subadviser shall provide reasonable assistance to the Corporation in connection with the Corporation’s compliance with the Xxxxxxxx-Xxxxx Act and the rules and regulations promulgated by the SEC thereunder, and Rule 38a-1 under the 1940 Act. Such assistance shall include, but not be limited to, (i) certifying annually, upon the reasonable request of the Corporation, that it is in material compliance with all applicable federal securities laws, as that term is defined in Rule 38a-1(e)(1) under the 1940 Act; (ii) facilitating and cooperating with third-party audits arranged by the Corporation to evaluate the effectiveness of its compliance controls; (iii) providing the Corporation’s chief compliance officer with reasonable direct access to its compliance personnel; (iv) providing the Corporation’s chief compliance officer with periodic reports upon advance written notice; and (v) promptly providing special reports to the Corporation’s chief compliance officer in the event of material compliance issues. Further, the Subadviser is aware that: (i) the president (principal executive officer) and treasurer (principal financial officer) of the Corporation (collectively, the “Certifying Officers”) are required to certify the Corporation’s periodic reports on Form N-CSR and Form N-Q pursuant to Rule 30a-2 under the 1940 Act; and (ii) the Certifying Officers must rely upon certain matters of fact generated by the Subadviser of which they do not have firsthand knowledge. Consequently, the Subadviser has in place procedures and controls that are reasonably designed to ensure the adequacy of the services provided to the Corporation under this Agreement and the accuracy of the information prepared by it and which is included in the Corporation’s periodic reports, and shall provide certifications to the Corporation to be relied upon by the Certifying Officers in certifying the Corporation’s periodic reports on Form N-CSR and Form N-Q (and such other periodic reports that may require certification in the future), in a form reasonably satisfactory to the Corporation. Notwithstanding the foregoing, the parties understand and agree that the Subadviser does not have access to all of the books and records of the Funds necessary to perform certain compliance testing. Accordingly, ...
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Compliance Oversight. (1) The Board shall be responsible for monitoring and coordinating the Bank's adherence to the provisions of this Agreement.
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Compliance Oversight. Upon Customer’s written request, to confirm Service Provider’s compliance with this Agreement, as well as any applicable laws, regulations and industry standards, Service Provider grants Customer or, upon Customer’s election, a third party on Customer’s behalf, permission to perform an assessment, audit, examination or review of all controls in Service Provider’s or Authorized Person’s physical and/or technical environment in relation to all Customer Information being handled and/or services being provided to Customer pursuant to this Agreement. Service Provider shall fully cooperate with such assessment by providing access to knowledgeable personnel, physical premises, documentation, infrastructure and application software that processes, stores or transports Customer Information for Customer pursuant to this Agreement. In addition, upon Customer’s written request, Service Provider shall provide Customer with the results of any audit by or on behalf of Service Provider performed that assesses the effectiveness of Service Provider’s information security program as relevant to the security and confidentiality of Customer Information shared during the course of this Agreement. Information Security Management Offshore sourcing. Offshore sourcing either directly or through Service Provider’s contractors, subcontractors, or agents for technology services, technology support services, data storage or data processing of any kind is prohibited without written consent of the Customer. Return or destruction of Customer Information. At any time during the term of this Agreement at the Customer’s written request or upon the termination or expiration of this Agreement for any reason, Service Provider shall, and shall instruct all Authorized Persons to, promptly return to the Customer all copies, whether in written, electronic or other form or media, of Customer Information in its possession or the possession of such Authorized Persons, or securely dispose of all such copies, and certify in writing to the Customer that such Customer Information has been returned to Customer or disposed of securely. Service Provider shall comply with all reasonable directions provided by Customer with respect to the return or disposal of Personal Information. Security breach. Service Provider shall: (1) provide Customer with the name and contact information for an employee of Service Provider who shall serve as Customer’s primary security contact and shall be available to assist Customer...
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Compliance Oversight. The sexual harassment laws are enforced by the Equal Employment Opportunity Commission (EEOC) at the federal level and the Texas Workforce Commission, Civil Rights Division (TWCCRD) at the state level. Filing a complaint under this OP does not preclude an employee from filing a complaint with the EEOC or the TWC according to the established procedures and timelines of those agencies. Further information may be obtained from xxx.xxxx.xxx or xxx.xxx.xxxxx.xx.xx. TCDD Executive Director Effective Date Texas Council for Developmental Disabilities OP 02-05 Operating Procedures Page 1 OP 02-01 - DRUG-FREE WORKPLACE AND PREVENTION PROGRAM Revised 4/2015
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Compliance Oversight. The Office of University Compliance and Integrity (University Compliance) • Evaluates all federal and state healthcare privacy laws, regulations, rules and ordinances (Rules) to ensure compliance with the Rules. • Develops and maintains all required University-wide Privacy Rule policies and procedures. • Develops and maintains HIPAA health care Privacy Rule training modules and ensures appropriate Workforce members complete the required training. • Performs audits and assessments of the Components to ensure their compliance with the Privacy Rules and associated FIU Policies and Procedures. • Partners with the Division of Information Technology HIPAA Security Officer to ensure compliance with all federal and state healthcare privacy and security laws, regulations rules, and ordinances.
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Related to Compliance Oversight

  • Compliance Audits D.4.1 Compliance Audit(s). Without limiting the generality of section A.7.4 (Records Review), if requested by the Province from time to time, which request shall be at the Province’s sole discretion, the Recipient, at its own expense, will forthwith retain an independent third party auditor to conduct one or more compliance audits of the Recipient or any Project. The audit will be conducted in accordance with Canadian Generally Accepted Auditing Standards, as adopted by the Canadian Institute of Chartered Accountants, applicable as of the date on which a record is kept or required to be kept under such standards. In addition, the audit will assess the Recipient’s compliance with the terms of the Agreement and will address, with respect to each Project, without limitation, the following:

  • Compliance Reporting a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.

  • Compliance Reports The Subadvisor at its expense will provide the Advisor with such compliance reports relating to its duties under this Agreement as may be agreed upon by such parties from time to time.

  • Regulatory Compliance Cooperation (a) CIT/VC agrees to use commercially reasonable best efforts to avoid the occurrence of a Regulatory Problem. In the event that CIT/VC determines that it has a Regulatory Problem, the Company agrees to use commercially reasonable efforts to take all such actions as are reasonably requested by CIT/VC in order (A) to effectuate and facilitate any transfer by CIT/VC of any Securities of the Company then held by CIT/VC to any Person designated by CIT/VC (subject, however, to compliance with Section 3 of this Agreement), (B) to permit CIT/VC (or any Affiliate of CIT/VC) to exchange all or any portion of the voting Securities of the Company then held by such Person on a share-for-share basis for shares of a class of non-voting Securities of the Company, which non-voting Securities shall be identical in all respects to such voting Securities, except that such new Securities shall be non-voting and shall be convertible into voting Securities on such terms as are requested by CIT/VC in light of regulatory considerations then prevailing, and (C) to continue and preserve the respective allocation of the voting interests with respect to the Company arising out of CIT/VC's ownership of voting Securities of the Company and/or provided for in this Agreement before the transfers and amendments referred to above (including entering into such additional agreements as are requested by CIT/VC to permit any Person(s) designated by CIT/VC to exercise any voting power which is relinquished by CIT/VC upon any exchange of voting Securities for nonvoting Securities of the Company); and the Company shall enter into such additional agreements, adopt such amendments to this Agreement, the Company's Charter and the Company's By-laws and other relevant agreements and taking such additional actions, in each case as are reasonably requested by CIT/VC in order to effectuate the intent of the foregoing. If CIT/VC elects to transfer Securities of the Company to a Regulated Holder in order to avoid a Regulatory Problem, the Company shall enter into such agreements with such Regulated Holder as it may reasonably request in order to assist such Regulated Holder in complying with applicable laws, and regulations to which it is subject. Such agreements may include restrictions on the 39. redemption, repurchase or retirement of Securities of the Company that would result or be reasonably expected to result in such Regulated Holder holding more voting securities or total securities (equity and debt) than it is permitted to hold under such laws and regulations.

  • Compliance Matters (a) The Sub-Adviser understands and agrees that it is a “service provider” to the Trust as contemplated by Rule 38a-1 under the 1940 Act. As such, the Sub-Adviser agrees to cooperate fully with the Adviser and the Trust and its Trustees and officers, including the Fund’s CCO, with respect to (i) any and all compliance-related matters, and (ii) the Trust’s efforts to assure that each of its service providers adopts and maintains policies and procedures that are reasonably designed to prevent violation of the “federal securities laws” (as that term is defined by Rule 38a-1) by the Trust, the Adviser and the Sub-Adviser. In this regard, the Sub-Adviser shall:

  • FCPA Compliance The Company has not and, to the Company’s actual knowledge, none of its employees or agents at any time during the last five years have (i) made any unlawful contribution to any candidate for foreign office, or failed to disclose fully any contribution in violation of law, or (ii) made any payment to any federal or state governmental officer or official, or other person charged with similar public or quasi-public duties, other than payments required or permitted by the laws of the United States or any jurisdiction thereof.

  • Compliance; Modification The Asset Representations Reviewer will cooperate with and provide information to the Issuer regarding the Asset Representations Reviewer’s compliance with this Section 4.10. The Asset Representations Reviewer and the Issuer agree to modify this Section 4.10 as necessary from time to time for either party to comply with applicable law.

  • Y2K Compliance PFPC further represents and warrants that any and all electronic data processing systems and programs that it uses or retains in connection with the provision of services hereunder on or before January 1, 1999 will be year 2000 compliant.

  • FUND COMPLIANCE 3.1 The Fund and the Adviser acknowledge that any failure (whether intentional or in good faith or otherwise) to comply with the requirements of Subchapter M of the Code or the diversification requirements of Section 817(h) of the Code may result in the Contracts not being treated as variable contracts for federal income tax purposes, which would have adverse tax consequences for Contract owners and could also adversely affect the Company's corporate tax liability. The Fund and the Adviser further acknowledge that any such failure may result in costs and expenses being incurred by the Company in obtaining whatever regulatory authorizations are required to substitute shares of another investment company for those of the failed Fund or as well as fees and expenses of legal counsel and other advisors to the Company and any federal income taxes, interest or tax penalties incurred by the Company in connection with any such failure.

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